401k Plan data: CONIFER FINANCIAL SERVICES LLC 401(K) PLAN plan

CONIFER FINANCIAL SERVICES LLC 401(K) PLAN 401k Plan overview

Plan Name	CONIFER FINANCIAL SERVICES LLC 401(K) PLAN
Plan identification number	001

CONIFER FINANCIAL SERVICES LLC 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan covering Self-Employed individuals.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

CONIFER FINANCIAL SERVICES has sponsored the creation of one or more 401k plans.

Company Name: CONIFER FINANCIAL SERVICES

Employer identification number (EIN): 464524280

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CONIFER FINANCIAL SERVICES LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-01-01 JOHN MCDONALD
001 2016-01-01 JACK MCDONALD
001 2015-01-01 SAL CAMPO SAL CAMPO 2016-10-11

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2017-01-01	JOHN MCDONALD
001	2016-01-01	JACK MCDONALD
001	2015-01-01	SAL CAMPO	SAL CAMPO	2016-10-11

Plan Statistics for CONIFER FINANCIAL SERVICES LLC 401(K) PLAN

401k plan membership statisitcs for CONIFER FINANCIAL SERVICES LLC 401(K) PLAN

Measure Date Value
2017: CONIFER FINANCIAL SERVICES LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 141
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 0
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 0
Total of all active and inactive participants 2017-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 0
Number of participants with account balances 2017-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: CONIFER FINANCIAL SERVICES LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 193
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 141
Total of all active and inactive participants 2016-01-01 141
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 141
Number of participants with account balances 2016-01-01 141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: CONIFER FINANCIAL SERVICES LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 161
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 139
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 54
Total of all active and inactive participants 2015-01-01 193
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 193
Number of participants with account balances 2015-01-01 152
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0

Measure	Date	Value
2017: CONIFER FINANCIAL SERVICES LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	141
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	0
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	0
Total of all active and inactive participants	2017-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	0
Number of participants with account balances	2017-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: CONIFER FINANCIAL SERVICES LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	193
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	141
Total of all active and inactive participants	2016-01-01	141
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	141
Number of participants with account balances	2016-01-01	141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: CONIFER FINANCIAL SERVICES LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	161
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	139
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	54
Total of all active and inactive participants	2015-01-01	193
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	193
Number of participants with account balances	2015-01-01	152
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0

Financial Data on CONIFER FINANCIAL SERVICES LLC 401(K) PLAN

Measure	Date	Value
2017 : CONIFER FINANCIAL SERVICES LLC 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-07-14	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-07-14	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-07-14	$-1,698
Total income from all sources (including contributions)	2017-07-14	$323,018
Total loss/gain on sale of assets	2017-07-14	$0
Total of all expenses incurred	2017-07-14	$9,465,531
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-07-14	$9,461,837
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-07-14	$0
Value of total assets at end of year	2017-07-14	$0
Value of total assets at beginning of year	2017-07-14	$9,140,815
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-07-14	$3,694
Total interest from all sources	2017-07-14	$456
Total dividends received (eg from common stock, registered investment company shares)	2017-07-14	$5,836
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-07-14	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2017-07-14	$0
Total dividends received from registered investment company shares (eg mutual funds)	2017-07-14	$5,836
Administrative expenses professional fees incurred	2017-07-14	$3,694
Was this plan covered by a fidelity bond	2017-07-14	Yes
Value of fidelity bond cover	2017-07-14	$1,000,000
If this is an individual account plan, was there a blackout period	2017-07-14	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-07-14	$0
Were there any nonexempt tranactions with any party-in-interest	2017-07-14	No
Participant contributions at beginning of year	2017-07-14	$117,293
Assets. Other investments not covered elsewhere at beginning of year	2017-07-14	$1,424,948
Other income not declared elsewhere	2017-07-14	$38,211
Total non interest bearing cash at beginning of year	2017-07-14	$3,450
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-07-14	No
Value of net income/loss	2017-07-14	$-9,142,513
Value of net assets at end of year (total assets less liabilities)	2017-07-14	$0
Value of net assets at beginning of year (total assets less liabilities)	2017-07-14	$9,142,513
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-07-14	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-07-14	No
Were any leases to which the plan was party in default or uncollectible	2017-07-14	No
Assets. partnership/joint venture interests at beginning of year	2017-07-14	$22,500
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-07-14	$7,063,093
Income. Interest from loans (other than to participants)	2017-07-14	$456
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-07-14	$509,531
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-07-14	$509,531
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-07-14	$278,515
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-07-14	No
Was there a failure to transmit to the plan any participant contributions	2017-07-14	No
Has the plan failed to provide any benefit when due under the plan	2017-07-14	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-07-14	$9,461,837
Liabilities. Value of benefit claims payable at beginning of year	2017-07-14	$-1,698
Did the plan have assets held for investment	2017-07-14	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-07-14	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-07-14	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-07-14	Yes
Opinion of an independent qualified public accountant for this plan	2017-07-14	Disclaimer
Accountancy firm name	2017-07-14	OUM & CO., LLP
Accountancy firm EIN	2017-07-14	942682998
2016 : CONIFER FINANCIAL SERVICES LLC 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$-1,698
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$1,819,153
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$1,872,944
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$1,872,459
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$1,039,268
Value of total assets at end of year	2016-12-31	$9,140,815
Value of total assets at beginning of year	2016-12-31	$9,196,304
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$485
Total interest from all sources	2016-12-31	$3,779
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$176,907
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2016-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$176,907
Administrative expenses professional fees incurred	2016-12-31	$485
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$715,364
Participant contributions at end of year	2016-12-31	$117,293
Participant contributions at beginning of year	2016-12-31	$134,199
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$1,424,948
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$1,385,756
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$3,815
Other income not declared elsewhere	2016-12-31	$69,027
Total non interest bearing cash at end of year	2016-12-31	$3,450
Total non interest bearing cash at beginning of year	2016-12-31	$67,064
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$-53,791
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$9,142,513
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$9,196,304
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Assets. partnership/joint venture interests at end of year	2016-12-31	$22,500
Assets. partnership/joint venture interests at beginning of year	2016-12-31	$36,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$7,063,093
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$7,192,289
Income. Interest from loans (other than to participants)	2016-12-31	$3,779
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$509,531
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$380,996
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$380,996
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$530,172
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$320,089
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$1,872,459
Liabilities. Value of benefit claims payable at end of year	2016-12-31	$-1,698
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	OUM & CO., LLP
Accountancy firm EIN	2016-12-31	942682998
2015 : CONIFER FINANCIAL SERVICES LLC 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$1,232,300
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$2,002,873
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$2,001,547
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$1,690,208
Value of total assets at end of year	2015-12-31	$9,196,304
Value of total assets at beginning of year	2015-12-31	$9,966,877
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$1,326
Total interest from all sources	2015-12-31	$4,644
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$189,274
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$189,274
Administrative expenses professional fees incurred	2015-12-31	$1,326
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$959,992
Participant contributions at end of year	2015-12-31	$134,199
Participant contributions at beginning of year	2015-12-31	$152,998
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$1,385,756
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$2,909,317
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$296,979
Other income not declared elsewhere	2015-12-31	$-321,983
Total non interest bearing cash at end of year	2015-12-31	$67,064
Total non interest bearing cash at beginning of year	2015-12-31	$51,691
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-770,573
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$9,196,304
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$9,966,877
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Assets. partnership/joint venture interests at end of year	2015-12-31	$36,000
Assets. partnership/joint venture interests at beginning of year	2015-12-31	$48,170
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$7,192,289
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$6,507,709
Interest on participant loans	2015-12-31	$4,644
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$380,996
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$296,992
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$296,992
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-329,843
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$433,237
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$2,001,547
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	OUM & CO., LLP
Accountancy firm EIN	2015-12-31	942682998

Form 5500 Responses for CONIFER FINANCIAL SERVICES LLC 401(K) PLAN

2017: CONIFER FINANCIAL SERVICES LLC 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	Yes
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: CONIFER FINANCIAL SERVICES LLC 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: CONIFER FINANCIAL SERVICES LLC 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Company Name:	CONIFER FINANCIAL SERVICES
Employer identification number (EIN):	464524280
NAIC Classification:	523120
NAIC Description:	Securities Brokerage